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ILO/OSH-MS 2001 (draft) MEOSH/2001

INTERNATIONAL LABOUR ORGANIZATION

Draft ILO technical guidelines on occupationalsafety and health management systems

Programme on Safety and Health at Workand the Environment (SafeWork)

INTERNATIONAL LABOUR OFFICE GENEVA

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Contents

Introduction .................................................................................................................................. 1

1. Objectives ............................................................................................................................. 3

2. National OSH management system framework...................................................................... 4

2.1. National policy.......................................................................................................... 4

2.2. National guidelines.................................................................................................... 5

2.3. Tailored guidelines .................................................................................................... 6

3. The OSH management system in the organization ................................................................ 8

Policy.................................................................................................................................... 8

3.1. OSH policy................................................................................................................. 8

3.2. Worker participation ................................................................................................... 10

Organizing ............................................................................................................................ 10

3.3. Responsibility and accountability................................................................................ 10

3.4. Competence and training� ......................................................................................... 12

3.5. OSH management system documentation.................................................................... 12

3.6. Communication .......................................................................................................... 13

Planning and implementation ................................................................................................ 14

3.7. Initial review .............................................................................................................. 14

3.8. OSH objectives........................................................................................................... 15

3.9. System planning, development and implementation.................................................... 15

3.10. Hazard control system................................................................................................. 16

3.10.1. Hazard/risk control measures.......................................................................... 16

3.10.2. Management of change................................................................................... 17

3.10.3. Emergency preparedness and response............................................................ 17

3.10.4. Procurement and contracting .......................................................................... 18

Evaluation............................................................................................................................. 19

3.11. Performance measurement .......................................................................................... 19

3.12. Accident, disease and incident investigation ................................................................ 20

3.13. Auditing..................................................................................................................... 21

3.14. Management review.................................................................................................... 22

Action................................................................................................................................... 23

3.15. Preventive and corrective action.................................................................................. 23

3.16. Continual improvement .............................................................................................. 23

Glossary........................................................................................................................................ 25

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References ................................................................................................................................... 28

Appendix: Risk assessment .......................................................................................................... 27

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Introduction

The protection of the worker against sickness, disease and injury arising out ofemployment is one of the tasks assigned to the ILO in the words of Preamble of itsConstitution. More recently, protection of the safety and health of workers wasrestated as an essential element in achieving decent working conditions for all inthe current context of globalization of world economies. Occupational safety andhealth (OSH) is therefore not only a key prerequisite for achieving decent work, butit is also a major positive factor in favour of economic growth and productivity.Over the past 80 years the ILO has elaborated and adopted 30 Conventions, 28Recommendations and 25 codes of practice and produced over 100 technicalpublications, all directly concerned with OSH issues. This represents a unique andformidable body of definitions, principles, obligations, duties and rights as well astechnical guidance reflecting the consensus views of labour stakeholders from 174member States on most aspects of occupational safety and health.

As a result of the ever-increasing pace of worldwide liberalization of trade andeconomies, as well technological progress, the world of work has becomeincreasingly competitive and has to face the rapid changes in working conditionsand environment, processes and work organization that are necessary for sustainedgrowth. The traditional command-control approach cannot address these challengesfully, and existing laws and regulations are usually too fragmented to be adapted,while new ones cannot be elaborated fast enough to cover new hazards and risksarising from these changes.

Holistic, coherent, flexible and sound approaches which are an integral part ofthe enterprise business cycle and structure at all levels are the only managementstrategies which can provide the strong incentive necessary for continualidentification, evaluation and control of hazards and risks in constantly evolvingworkplaces. The positive impact of introducing OSH management systems at theorganization level both on the reduction of hazards and risks and on productivityare now recognized by governments, employers and workers.

Although a number of OSH management systems have been developed at theinternational, national, regional and industry levels and are usually well designedand useful, they are not rooted in the body of internationally agreed OSH principlessuch as those defined by the tripartite constituency of the ILO. Only such a linkagecan provide the strength, flexibility and appropriate basis for the development of asustainable safety culture in the enterprise. A long-term implementation of goodsafety, health and environmental practices, at all levels of society – i.e. thecontinued “implantation” of a safety culture as an essential part of general socialculture – is the only way to curb the spiralling cost of overall health care deliveryand environmental protection and remediation, while increasing generalproductivity.

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The ILO has therefore developed guidelines on OSH management systemswhich reflect ILO values and instruments relevant to the protection of the safetyand health of workers but which are designed as a practical tool for assistingorganizations and competent national institutions in reducing the heavy human andeconomic toll that is still exacted by occupational accidents and diseases as well asproperty losses.

By providing a coherent framework for decision-making in the area of OSH,these guidelines also contribute to the promotion of sustainable development atworkplaces as recommended by the 1992 United Nations Conference onEnvironment and Development in its Agenda 21.

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1. Objectives

1.1. At national level, these guidelines should:

(a) be used for the establishment of a national occupational safety and health(OSH) management system framework, preferably supported by national lawsand regulations, and for the development of voluntary arrangements tostrengthen compliance with regulations and standards;

(b) provide guidance on the development of both national (section 2.2) andtailored (section 2.3) guidelines to respond appropriately to the real needs oforganizations according to their size and the nature of their activities.

1.2. At the level of the organization, these guidelines are intended to:

(a) provide guidance regarding the organizing, planning and implementation,evaluation and action of OSH management carried out as a component ofpolicy and management arrangements;

(b) motivate managerial staff, workers and their representatives in applyingappropriate OSH management principles and methods to improve OSHperformance.

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2. National OSH managementsystem framework

2.1. National policy

2.1.1. A competent institution or institutions should be nominated, asappropriate, and formulate, implement and periodically review a coherent policyfor the establishment and implementation of OSH management systems inorganizations. This should be done in consultation with the most representativeorganizations of employers and workers and other relevant organizations andauthorities.

2.1.2. The national policy on OSH management systems should establishgeneral principles and procedures to:

(a) promote the implementation and integration of OSH management systems aspart of the overall management of an organization;

(b) facilitate and improve voluntary arrangements for the systematicidentification, planning, implementation and control of OSH activities atnational and organization levels;

(c) avoid unnecessary bureaucracy, administration and costs;

(d) promote collaborative and support arrangements for OSH managementsystems at the organization by labour inspection, occupational health servicesand other services, and channel their activities into a consistent framework forOSH management;

(e) recognize publicly successful OSH management systems and practice bysuitable means.

2.1.3. With a view to ensuring the coherence of the national policy and ofmeasures for its implementation, the competent institution should establish anational framework for OSH management systems to:

(a) identify and establish the respective functions and responsibilities of thevarious institutions called upon to implement the national policy and makeappropriate arrangements to ensure the necessary coordination between them;

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(b) publish and review periodically national guidelines on the voluntaryapplication and systematic implementation of OSH management systems inorganizations;

(c) establish criteria for the designation and respective duties of the institutionsresponsible for the preparation and implementation of tailored guidelines onOSH management systems;

(d) ensure that guidance is available to employers, workers and theirrepresentatives to help them understand and take advantage of the nationalpolicy.

2.1.4. The competent institution should make arrangements and provideguidance to labour inspection, OSH services and other public or private services,including occupational health care and non-governmental organizations (NGOs), toencourage and help organizations to implement OSH management systems.

2.2. National guidelines

2.2.1. National guidelines on the voluntary application and systematicimplementation of OSH management systems should be elaborated based on themodel provided in Chapter 3.

2.2.2. National guidelines should be designed with sufficient flexibility topermit:

(a) the immediate use of the ILO guidelines in organizations with a well-developed management structure where the OSH management provisions canbe integrated immediately;

(b) the adaptation of the ILO guidelines to tailored guidelines on OSHmanagement systems (see section 2.3) which take account of and respond tothe specific conditions and needs of organizations;

(c) the promotion of effective cooperation of the organization with the regulatoryauthorities, labour inspection and occupational health services and otherservices, including NGOs;

(d) the avoidance of excessive bureaucracy and unnecessary burdens;

(e) suitable and applicable means of recognition for successful OSH managementsystems and practice.

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2.3. Tailored guidelines

2.3.1. Based on the national guidelines on OSH management systems, tailoredguidelines should be designed to reflect the specific conditions and needs oforganizations or groups of organizations, taking into consideration:

(a) their size (large, medium, small) and infrastructure;

(b) the types and degree of hazards and risks;

(c) their branch of economic activity;

(d) other special conditions that justify tailored systems.

2.3.2. Tailored guidelines on OSH management systems may consider onlythose requirements from the national guidelines which are relevant and applicablein the organizations for which they were designed.

The links between the national framework for OSH management systems(OSH-MS) and its essential elements are illustrated below:

ILO guidelineson

OSH-MS

Nationalguidelines

on OSH-MS

Tailoredguidelines on

OSH-MS

OSH-MS

in

organiz-ations

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3. The OSH management systemin the organization

3.0. The employer should show strong visible leadership and commitment toOSH activities in the organization, and make appropriate arrangements for theestablishment of an OSH management system. The OSH management systemshould contain the main elements of policy, organizing, planning andimplementation, evaluation and action, as shown in the diagram below:

Policy

3.1. OSH policy

3.1.1. The employer should set out in writing an OSH policy which should be:

(a) specific to the organization and appropriate to, and consistent with, its size andthe nature of its activities;

(b) concise, clearly written, dated and made effective by the signature orequivalent of the employer or the most senior person in the organization;

(c) communicated and readily accessible to all members of the organization,including workers and/or their representatives;

Planning & implementationInitial review;OSH objectives;System planning,development andimplementation;Hazard control system(hazard/risk controlmeasures; management ofchange; emergencypreparedness and response;procurement and contracting)

EvaluationPerformancemeasurement;Accident, diseaseand incidentinvestigation;Auditing;Managementreview

ActionPreventive andcorrective action;Review and backto Organizing

OrganizingResponsibility andaccountability;Competence andtraining;OSH managementsystemdocumentation;Communication

PolicyOSH policy;Workerparticipation

Continual improvement

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(d) reviewed for continuing suitability;

(e) made available to relevant external interested parties, as appropriate.

3.1.2. The OSH policy should include the following key principles andobjectives to which the organization is committed, in particular:

(a) preventing occupational accidents and diseases, and other work-relatedadverse health effects;

(b) promoting the health of all members of the organization;

(c) complying with relevant OSH legal requirements, voluntary protectionprogrammes and other requirements to which the organization subscribes;

(d) recognizing OSH as an integral part of the overall management structure andOSH performance as an integral part of the organization’s businessperformance;

(e) requiring all members of the organization to hold OSH management as aprime responsibility;

(f) defining preferably measurable objectives;

(g) ensuring that workers and their representatives are consulted and participate asappropriate in all levels of OSH organizing, planning and implementation,evaluation and action processes;

(h) allocating duties, responsibilities and accountability for OSH in theorganization’s structure;

(i) ensuring that management and workers are competent to carry out theirassigned duties and responsibilities, and understand their rights;

(j) allocating the necessary resources, whether human, financial or other, for theimplementation of the OSH management system;

(k) continual improvement in performance of the OSH management system.

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3.2. Worker participation

3.2.1. Cooperation on OSH aspects between the employer, management andworkers and/or their representatives within the organization should be:

(a) an underlying principle of the organization’s safety and health policy; and

(b) an essential element of organizational and other arrangements.

3.2.2. Arrangements should be in place to ensure that workers and/or theirrepresentatives:

(a) are consulted at all appropriate levels on all relevant aspects of OSHassociated with their work;

(b) are competent enough and encouraged to participate actively in the planning,implementation, evaluation and improvement processes of the OSHmanagement system. The extent of this participation should be consistent withthe size of the organization and the nature of its activities.

3.2.3. The measures taken to facilitate cooperation referred to in paragraph3.2.2 should include, where appropriate, the appointment of workers’ safetyrepresentatives and of safety and health committees.

Organizing

3.3. Responsibility and accountability

3.3.1. The employer should have overall responsibility for the protection ofworkers’ safety and health and provide leadership for OSH activities in theorganization.

3.3.2. The employer and senior management, consistently with the size andnature of the organization, should allocate responsibility, accountability andauthority for the development, implementation and performance of OSHmanagement systems and achieving the relevant OSH objectives; structures andprocesses should be established which:

(a) ensure that OSH is a line management responsibility at all levels;

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(b) define the responsibility, accountability and authority of persons who identify,evaluate or control OSH hazards and risks and promote health;

(c) promote cooperation and communication among members of the organization,including workers and their representatives, to achieve compliance with OSHrequirements pursuant to national laws and regulations;

(d) integrate OSH as a prime responsibility within the management systems forcomprehensive planning of the organization;

(e) fulfil the principles of OSH management systems contained in relevantnational framework documents, tailored systems or voluntary programmes, asappropriate, to which the organization subscribes;

(f) establish and implement a clear OSH policy with measurable and preferablyquantifiable objectives;

(g) establish effective arrangements to control hazards and risks to safety andhealth (see section 3.10);

(h) ensure the participation of workers or their representatives in theimplementation of the OSH policy;

(i) provide appropriate resources to ensure adequate functioning of the safety andhealth committee, where it exists;

(j) ensure the full participation of workers and their representatives in the safetyand health committee, where it exists.

3.3.3. A person or persons at the senior management level should beappointed, where appropriate, with responsibility, authority and accountability for:

(a) the development, implementation, periodic review and evaluation of the OSHmanagement system;

(b) periodic reporting to the senior management on the performance of the OSHmanagement system;

(c) promoting the participation of all members of the organization, includingmanagement, supervisors and workers and/or their representatives;

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(d) creating opportunities for the members of the organization’s management andsupervisory staff to demonstrate their commitment to and involvement in theOSH management system.

3.4. Competence�1 and training

3.4.1. The necessary OSH competence requirements should be identified todevelop and implement the organization’s OSH management system.

3.4.2. Necessary arrangements should be established and maintained to ensurethat all persons with safety and health responsibilities at all levels are competent toperform their duties and responsibilities.

3.4.3. Under the arrangements referred to in paragraph 3.4.2, trainingprogrammes should:

(a) cover all members of the organization as appropriate;

(b) be conducted by persons with appropriate skills and experience;

(c) provide initial and refresher training at appropriate intervals;

(d) evaluate the comprehension and retention of the training by participants;

(e) be reviewed periodically by the safety and health committee, where it exists,and modified as necessary to ensure its relevance and effectiveness;

(f) be documented as appropriate and be consistent with the size of theorganization and the nature of its activity.

3.5. OSH management system documentation

3.5.1. Consistently with the size of the organization and the nature of itsactivity, OSH management system documentation should be established andmaintained, and may cover:

(a) the scope of the OSH management system;

1 OSH competence includes education, work experience and training, or a combination thereof.

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(b) the OSH policy and objectives of the organization;

(c) the allocated key OSH management roles and responsibilities for theimplementation of the OSH management system;

(d) the significant OSH hazards/risks arising from the organization’s activities,and the arrangements for their control;

(e) records of occupational accidents and diseases, dangerous occurrences andincidents;

(f) procedures, instructions or other internal documents implemented in theframework of the OSH management system;

(g) the interactions between the elements of the OSH management system withinthe organization.

3.5.2. The OSH management system documentation should be:

(a) clearly written and in a language understood by those who have to use it;

(b) periodically reviewed, revised as necessary, communicated and readilyaccessible to all appropriate or affected members of the organization.

3.6. Communication

3.6.1. Procedures should be established and maintained for:

(a) receiving, documenting and responding to internal and externalcommunications related to OSH;

(b) ensuring the internal communication of OSH information between relevantlevels and functions of the organization;

(c) ensuring that the concerns, ideas and inputs of workers and theirrepresentatives on OSH matters are received and considered.

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Planning and implementation

3.7. Initial review

3.7.1. The scope, adequacy, implementation and effectiveness of the existingOSH management system and relevant arrangements in an organization should beevaluated by an initial review. This review should be undertaken periodically.Where no OSH management system exists, the initial review should serve as abasis for its establishment.

3.7.2. The initial review should be carried out, in consultation with workersand/or their representatives, and qualified persons (see paragraph 3.3.2(b)), asappropriate, to:

(a) identify the current applicable legal OSH requirements, voluntary protectionarrangements and other requirements to which the organization subscribes;

(b) identify hazards and assess risks to workers’ safety and health arising from theworking environment;

(c) determine whether planned or existing controls are adequate to eliminatehazards or control these risks.

3.7.3. The result of the review should:

(a) be documented and become the basis for making decisions regarding changesto the OSH policy or the planning and implementation processes for theimprovement of the OSH management system;

(b) provide the baseline from which continual improvement of the OSHmanagement system can be measured.

3.7.4. The initial review should include an analysis of the records onoccupational accidents and diseases, dangerous occurrences and incidents and thedata provided from workers’ health surveillance, in line with the provisions of theILO Technical and ethical guidelines for workers’ health surveillance (Geneva,1998).

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3.8. OSH objectives

3.8.1. Based on and consistently with the OSH policy and initial review of theorganization, measurable and quantifiable objectives for the implementation of thepolicy and continuously improved OSH protection of the workers should beestablished. Such objectives should be:

(a) specific to the organization, and appropriate to and consistent with its size andthe nature of its activity;

(b) consistent with the relevant and applicable legal, technical and businessobligations of the organization with regard to OSH;

(c) realistic and achievable;

(d) communicated to all relevant functions and levels of the organization;

(e) documented and accessible to all members of the organization.

3.8.2. The objectives should be periodically reviewed and modified, ifnecessary, to reflect the organization’s commitment to the process of continualimprovement of the OSH management system and related performance.

3.9. System planning, developmentand implementation

3.9.1. Based on the results of the initial review and other available data (seesection 3.7), arrangements should be made for adequate and appropriate OSHplanning. The purpose of the planning should be to achieve:

(a) compliance with legal requirements, as the minimum, and the organization’sOSH objectives; and

(b) continual cost-effective improvement in OSH performance.

3.9.2. These arrangements should contribute to prevention throughidentifying, evaluating and controlling hazards and risks and should include:

(a) a clear definition, priority setting and quantification, where appropriate, of theorganization’s OSH objectives;

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(b) the preparation of a plan for achieving each objective with definedresponsibility and clear performance criteria indicating what is to be done bywhom and when;

(c) the selection of suitable measurement criteria for confirming that theobjectives are achieved;

(d) the provision of adequate resources, including human and financial resourcesand technical support, as appropriate.

3.9.3. The OSH planning arrangements (see paragraph 3.9.1) of theorganization should cover or be related to the following key areas:

(a) implementation of the OSH policy (see section 3.1);

(b) control of the hazards and risks identified in the initial review or made knownby other data (see sections 3.7 and 3.10);

(c) overall objectives (see section 3.8);

(d) performance measurement (see section 3.11), audits (see section 3.13) andmanagement reviews (see section 3.14);

(e) implementation of corrective action as necessary (see paragraph 3.10.2 andsection 3.15).

3.10. Hazard control system

3.10.1. Hazard/risk control measures

3.10.1.1. Hazards should be identified and risks to safety and health assessed.Preventive and protective measures should be implemented in the following orderof priority:

(a) eliminate the risk;

(b) control the risk at source, through the use of engineering or organizationalmeasures;

(c) minimize the risk by means that include the design of safe work systems;

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(d) in so far as the risk remains, provide for the use of personal protectiveequipment.

3.10.1.2. Hazard control procedures should:

(a) be adapted to the hazards and risks encountered by the organization;

(b) be reviewed and modified if necessary on a regular basis;

(c) meet legal requirements and reflect good practice.

3.10.2. Management of change

3.10.2.1. The impact on OSH of internal changes (such as those in staffing ordue to new processes, working procedures, organizational structures oracquisitions) and of external changes (for example as a result of amendment oflaws and regulations and developments in OSH knowledge and technology) shouldbe evaluated and appropriate steps taken prior to the introduction of changes.

3.10.2.2. An “OSH impact” evaluation should be carried out before anymodification or introduction of new work methods, materials, processes ormachinery. Such “prior to change” evaluations should involve workers and/or theirrepresentatives.

3.10.2.3. Implementation of a “decision to change” should ensure that allconcerned members of the organization are properly informed, and trained ifnecessary.

3.10.3. Emergency preparedness and response

3.10.3.1. Emergency preparedness and response arrangements should beestablished and maintained. These arrangements should be appropriate to the sizeof the organization and the nature of its activities, and should make provisions for:

(a) communication and coordination with the relevant neighbourhood andemergency response services;

(b) first aid and medical assistance, fire fighting and evacuation of people;

(c) training of all members of the organization, at all levels, including regularexercises in emergency preparedness and response procedures.

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3.10.3.2. In major hazard installations, emergency plans should be drawn upin conformity with the arrangements recommended in the ILO Code of practice onprevention of major industrial accidents (Geneva, 1991).

3.10.4. Procurement and contracting

3.10.4.1. Procedures should be established and maintained to ensure that:

(a) compliance with safety and health requirements is identified, evaluated andincorporated into purchasing and leasing specifications;

(b) legal and the organization’s own OSH obligations/requirements are satisfiedprior to the procurement of goods and services.

3.10.4.2. Arrangements should be established and maintained for ensuringthat the same safety and health requirements apply to contractors and their workersas to the workers employed directly by the organization.

3.10.4.3. Arrangements for assessing and controlling contractors should:

(a) include procedures for evaluating and selecting contractors;

(b) set up communication links between appropriate levels of the organization andthe contractor prior to commencing work, including provisions forcommunicating hazards associated with the work and information onaccidents, diseases and incidents suffered by the contractors’ workers whileperforming work for the organization;

(c) provide relevant safety and health hazard awareness and training, if necessary,to contractor workers prior to commencing work;

(d) monitor regularly OSH performance of contractor activities on site;

(e) ensure that site OSH rules and procedures are followed by the contractor(s).

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Evaluation

3.11. Performance measurement

3.11.1. Procedures to monitor and measure OSH performance on a regularbasis should be developed and periodically reviewed.

3.11.2. Both qualitative and quantitative measures appropriate to the needs ofthe organization should be considered, and should:

(a) be developed preferably in conjunction with the OSH policy;

(b) be consistent with the organization’s hazards and risks, the OSH variablesexpressed in the OSH policy (see section 3.1) and the OSH objectives (seesection 3.8);

(c) support the organization’s evaluation process and the management review (seesection 3.14).

3.11.3. Performance monitoring and measurement should:

(a) be used as a means of determining the extent to which OSH policy andobjectives are being implemented and risks are controlled;

(b) include both active and reactive monitoring and not be based only uponoccupational accident and disease statistics.

3.11.4. The selection of reasonable and appropriate outcome indicators shouldbe made according to the size of the organization and the nature of its activities andthe chosen OSH objectives. Responsibilities for monitoring at different levels inthe management structure should be allocated.

3.11.5. Active monitoring should provide:

(a) feedback on OSH performance before an accident, disease or incident;

(b) information to determine whether the day-to-day arrangements for hazard andrisk control are in place and operating effectively;

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(c) the basis for decisions about improvement in hazard and risk control and theOSH management system.

3.11.6. Active monitoring should include:

(a) monitoring the achievement of specific plans, established performance criteriaand objectives and the operation of the OSH management system;

(b) the systematic inspection of work systems, premises, plant and equipment;

(c) surveillance of the working environment;

(d) workers’ health surveillance to determine the effectiveness of health controlmeasures and to detect early signs of harm to health;

(e) compliance with applicable legislation and regulations.

3.11.7. Reactive monitoring should include the identifying, reporting,recording and investigation of:

(a) accidents, diseases (including monitoring of sickness absence records) andincidents, in line with the provisions of the ILO Code of practice on recordingand notification of occupational accidents and diseases (Geneva, 1996);

(b) other losses, such as damage to property;

(c) deficient safety and health performance and OSH management systemfailures.

3.12. Accident, disease and incident investigation

3.12.1. The origin and underlying causes of occupational accidents,occupational and other work-related adverse health effects, as well as incidents,should be identified. The investigation should determine any related deficiencies inthe OSH management system.

3.12.2. Such investigations should be carried out by competent persons, withthe appropriate involvement of workers and/or their representatives.

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3.12.3. The results of such investigations should be communicated to and beconsidered by the safety and health committee, where it exists, and the committeeshould make any appropriate recommendations.

3.12.4. The results of the investigation and any recommendations of the safetyand health committee should be communicated to appropriate persons forcorrective action (see section 3.15), included in the management review (seesection 3.14) and considered for continual improvement activities (see section3.16).

3.13. Audit

3.13.1. In addition to routine monitoring of OSH performance, periodic auditsshould be conducted to verify the adequacy, strengths and weaknesses of the OSHmanagement system and each of its components. Audits should determine whetherthe system:

(a) conforms to the OSH policy and objectives of the organization;

(b) has been effectively integrated, implemented and maintained for achieving therequired standard of OSH performance, or whether there are possibleorganizational causes of OSH-related deficiencies;

(c) complies with statutory requirements and other obligations with respect toOSH.

3.13.2. An audit policy and programme should be developed taking intoconsideration the status and importance of the activities and areas to be audited, aswell as the results of previous audits. The scope, frequency and methodologies ofthe audit should be defined accordingly.

3.13.3. Audits should be conducted by competent persons who areindependent�2 of the activity being audited.

3.13.4. Audit procedures should be developed that assign the responsibilitiesand make provisions for:

(a) conducting audits;

2 This does not necessarily mean an independent external audit (i.e. by an auditor(s) from outsidethe organization).

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(b) recording and reporting results;

(c) implementing corrective action (see section 3.15).

3.13.5. Responsible members of the organization, including workers and theirrepresentatives, should be informed that an audit is to be performed and be invitedto participate in the activity (see section 3.2).

3.14. Management review

3.14.1. The frequency and scope of periodic reviews by management of theOSH management system should be defined according to the organization’s needsand conditions.

3.14.2. Management reviews should:

(a) evaluate the overall performance of the OSH management system and itsindividual components to determine whether it meets planned performanceobjectives;

(b) evaluate the OSH management system’s ability to meet the overall needs ofthe organization and its stakeholders, including its workers and the regulatingauthorities;

(c) evaluate the need for changes to the OSH management system, including OSHpolicy and objectives;

(d) identify what action is necessary to remedy any deficiencies in a timelymanner, including adaptations of other aspects of the organization’smanagement structure and performance measurement;

(e) provide the feedback direction, including the determination of priorities, formeaningful planning (see section 3.9) and continual improvement (see section3.16).

3.14.3. The management review should consider:

(a) the results of accident, disease and incident investigations, the findings ofaudits and monitoring activities, the results of hazard identifications, riskassessments and surveillance activities, and the report of the managementrepresentative, if appointed (see section 3.3);

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(b) the internal and external factors as well as changes, including organizationalchanges, that could affect the OSH management system;

(c) progress towards the organization’s OSH objectives and corrective action;

(d) the effectiveness of follow-up to earlier management reviews.

3.14.4. The findings of the management review should be recorded andformally communicated to the persons responsible for the affected element(s) ofthe OSH management system so that they may take appropriate action.

Action

3.15. Preventive and corrective action

3.15.1. When the evaluation of the OHS management system (see sections3.11 to 3.14) or other sources show that preventive and protective measures (seesection 3.10) for hazards and risks are inadequate or likely to become inadequate,hazards and risks should be:

(a) eliminated by ceasing to use such hazardous processes or substances orreplacing them by modified processes or less hazardous substances;

(b) minimized by designing and implementing a programme of action.

3.15.2. Preventive and corrective measures for implementing such aprogramme of action should:

(a) be sufficient and appropriate to control hazards and risks;

(b) minimize adverse health effects to workers;

(c) be documented, as appropriate, and completed in a timely manner.

3.16. Continual improvement

3.16.1. Procedures and arrangements should be established and maintained forthe continual improvement of the OSH management system. These procedures andarrangements should include:

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(a) the OSH objectives of the organization;

(b) the results of hazard identifications and risk assessments;

(c) the results of performance measurements;

(d) accident, disease and incident investigations and the results andrecommendations of audits;

(e) the outcomes of the management review;

(f) recommendations from all members of the organization, including the safetyand health committee, where it exists;

(g) the results of health promotion programmes.

3.16.2. The safety and health processes and performance of the organizationshould be compared with others to learn how to reduce accidents and diseases,improve compliance with safety and health law and/or cut compliance costs(benchmarking).

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Glossary

In these guidelines, the following terms have the meanings hereby assigned tothem:

Audit: A systematic, independent and documented process for obtaining evidenceand evaluating it objectively to determine the extent to which defined criteriaare fulfilled. This does not necessarily mean an independent external audit (byan auditor(s) from outside the organization).

Competent institution: A government department or other authority with the rightto establish the national policy on OSH management systems, to give effect tothis policy by means of a national framework for the establishment andimplementation of such systems in organizations and to provide relevantguidance.

Competent person: A person possessing adequate qualifications, such as suitabletraining and sufficient knowledge, experience and skill, for the safeperformance of specific work. The competent institution may defineappropriate criteria for the designation of such persons and may determine theduties assigned to them.

Continual improvement: Process of enhancing the OSH management system inorder to achieve improvements in overall OSH performance, in line with theorganization’s OSH policy.

Employer: Any physical or legal person who employs one or more workers.

Hazard: The potential to cause physical injury or damage to health of people.

Incident: An unsafe occurrence arising out of or in the course of work where nopersonal injury is caused, or where personal injury requires only first-aidtreatment.

Management review: Evaluation by management of the overall performance of anOSH management system, from a standpoint of whether the system meets theoverall needs of the organization, its stakeholders and workers, and theregulating authorities.

Occupational accident: An occurrence arising out of or in the course of work,which results in fatal or non-fatal occupational injury.

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Occupational disease: Disease known, under prescribed conditions, to arise out ofexposure to substances or dangerous conditions in processes, trades oroccupations.

Occupational health surveillance: The ongoing systematic collection, analysis,interpretation and dissemination of data for the purpose of prevention.Surveillance is essential to the planning, implementation and evaluation ofoccupational health programmes and to the control of work-related ill healthand injuries, as well as to the protection and promotion of workers’ health.Occupational health surveillance includes workers’ health surveillance andworking environment surveillance.

Occupational safety and health (OSH) management system: Set of interrelated orinteracting elements to establish OSH policy and OSH objectives and toachieve those objectives.

Occupational safety and health (OSH) policy: Overall intention and direction of anorganization in relation to OSH as formally expressed by the employer and topmanagement.

Organization: A company, operation, firm, undertaking, establishment, enterprise,institution or association, or part thereof, whether incorporated or not, publicor private, that has its own functions and administration. For organizationswith more than one operating unit, a single operating unit may be defined asan organization.

Risk: The likelihood that a specified undesired event will occur causing physicalinjury or damage to the health of people.

Risk assessment: The process of evaluating and ranking the risks to safety andhealth at work arising from hazards at the workplace.

Worker: Any person who performs work, either regularly or temporarily, for anemployer.

Workers’ representative: In accordance with the Workers’ RepresentativesConvention, 1971 (No. 135), any person who is recognized as such by nationallaw or practice, including:

(a) trade union representatives, namely, representatives designated or electedby trade unions or by members of such unions; or

(b) elected representatives, namely, representatives who are freely elected bythe workers of the undertaking in accordance with provisions of national

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laws or regulations or of collective agreements and whose functions donot include activities which are recognized as the exclusive prerogative oftrade unions in the country concerned.

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References

Relevant ILO Conventions andRecommendations

Conventions

No. Title

115 Radiation Protection, 1960

135 Workers’ Representatives, 1971

136 Benzene, 1971

139 Occupational Cancer, 1974

148 Working Environment (Air Pollution, Noise and Vibration), 1977

155 Occupational Safety and Health, 1981

161 Occupational Health Services, 1985

162 Asbestos, 1986

167 Safety and Health in Construction, 1988

170 Chemicals, 1990

174 Prevention of Major Industrial Accidents, 1993

176 Safety and Health in Mines, 1995

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Recommendations

No. Title

114 Radiation Protection, 1960

144 Benzene, 1971

147 Occupational Cancer, 1974

156 Working Environment (Air Pollution, Noise and Vibration), 1977

164 Occupational Safety and Health, 1981

171 Occupational Health Services, 1985

172 Asbestos, 1986

175 Safety and Health in Construction, 1988

177 Chemicals, 1990

181 Prevention of Major Industrial Accidents, 1993

183 Safety and Health in Mines, 1995

ILO codes of practice

Prevention of major industrial accidents (Geneva, 1991)

Safety and health in opencast mines (Geneva, 1991)

Safety and health in construction (Geneva, 1992)

Safety in the use of chemicals at work (Geneva, 1993)

Accident prevention on board ship at sea and in port (Geneva, 1996)

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Management of alcohol and drug-related issues in the workplace (Geneva, 1996)

Recording and notification of occupational accidents and diseases (Geneva, 1996)

Protection of workers’ personal data (Geneva, 1997)

Safety and health in forestry work (Geneva, 1998)

Ambient factors in the workplace (Geneva, 2001)

Relevant publications

Agenda 21 (Chapter 19 on environmentally sound management of chemicals).United Nations Conference on Environment and Development (UNCED), Riode Janeiro, Brazil, 1992.

American Industrial Hygiene Association (AIHA): Occupational health and safetymanagement system: An AIHA guidance document, AIHA OHSMS 96/3/26(Fairfax, Virginia, 1996).

Bavarian Ministry of State for Labour and Social Affairs, Family, Women andHealth: Management systems for occupational health and plant safety, Volume1: Occupational health and risk management system (OHRIS) – Principles andsystem elements (Munich, 1998).

BS 8800:1996. Guide to occupational health and safety management systems(London, British Standards Institution, 1996).

Council of the European Communities: Council Regulation (EEC) No. 1836/93 of29 June 1993, allowing voluntary participation by companies in the industrialsector in a Community eco-management and audit scheme, in Official journalof the European Communities (Brussels), No. 168, 10 July 1993, pp. 1-18.

Health and Safety Authority (Ireland): Workplace health and safety management:Practical guidelines on the implementation of an occupational safety, healthand welfare management system (Dublin, 1998).

Health and Safety Executive (HSE): Successful health and safety management(HSG65) (United Kingdom, HSE Books, second edition 1997, reprinted1998).

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ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up,adopted by the International Labour Conference at its 86th Session, 1998(Geneva, ILO, 1998).

ILO: Encyclopaedia of occupational health and safety, fourth edition (Geneva,ILO, 1998).

ILO: Technical and ethical guidelines for workers’ health surveillance.Occupational Safety and Health Series No. 72 (Geneva, 1998).

ISO 9000-1:1994. Quality management and quality assurance standards – Part 1:Guidelines for selection and use (Geneva, 1994).

ISO 9001:1994. Quality systems – Model for quality assurance in design,development, production, installation and servicing (Geneva, 1994).

ISO 9002:1994. Quality systems – Model for quality assurance in production,installation and servicing (Geneva, 1994).

ISO 14001:1996. Environmental management systems – Specification withguidance for use (Geneva, International Organization for Standardization,1996).

Japan Industrial Safety and Health Association (JISHA): Occupational safety andhealth management systems (OHS-MS) guidelines (JISHA guidelines)(Tokyo, 1997).

Ministry of Labour of Japan: Guideline for occupational health and safetymanagement systems, Ministry of Labour Notification No. 53 (Tokyo, 1999).

NZS 4801(Int):1999. Occupational health and safety management systems:Specification with guidance for use (Wellington, Standards New Zealand,1999).

OHSAS 18001:1999. Occupational health and safety management systems –Specification. Occupational Health and Safety Assessment Series (London,British Standards Institution, 1999).

OHSAS 18002:2000. Occupational health and safety management systems –Guidelines for the implementation of OHSAS 18001. Occupational Health andSafety Assessment Series (London, British Standards Institution, 2000).

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Oil Industry International Exploration and Production Forum (E&P Forum):Guidelines for the development and application of health, safety andenvironmental management systems, Report No. 6.36/210 (London, 1994).

Standard for certification of occupational health and safety management systems(OHSMS), 1997 (Norway, Det Norske Veritas AS, 1997).

Victorian WorkCover Authority: SafetyMAP: Auditing health and safetymanagement systems (Melbourne, Australia, 1997).

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Appendix

Risk assessment

I.1. Key elements of risk assessment

I.1.1. The purpose of a risk assessment is to help employers examine systematicallyall aspects of their work activities so as to determine what could cause injury or harm,whether the sources of injury and harm can be eliminated and, if not, what preventive orprotective measures should be in place. The risk assessment will allow decisions on how tomanage risks to be made in an informed, rational and structured manner.

I.1.2. The process of carrying out a risk assessment should be undertaken bymanagement, whether or not advisers or consultants have been brought in to assist with thedetail of the assessment, and should take account of the views of workers and theirrepresentatives who have practical knowledge and experience to contribute.

I.1.3. Besides the potential harm or injury to their own employees, employers shouldconsider in their risk assessment the effect of their work activities on other parties. Forexample, there may be employees of other businesses who visit the workplace (e.g.maintenance contractors) or members of the public (e.g. customers). Where employees ofdifferent employers work in the same workplace, their respective employers maysometimes have to cooperate to produce an overall risk assessment.

I.1.4. A risk assessment involves the following five steps:

n the identification of hazards;

n the identification of workers and others who might be harmed by those hazards, andhow the harm might occur;

n an evaluation of the risk from those hazards;

n recording the findings of the assessment; and

n reviewing the assessment.

The steps are described in greater detail in section I.2 below (“Risk assessment inpractice”).

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I.1.5. The level of detail in a risk assessment should be proportionate to the risk.Insignificant risks can usually be ignored, as can those arising from routine activitiesassociated with life in general and not normally thought of as being of concern (e.g. the useby staff of office furniture) unless work activity compounds or significantly alters thoserisks. The level of risk arising from the work activity should determine the degree ofsophistication of the risk assessment:

n for small businesses presenting few or simple hazards, a risk assessment can be a verystraightforward process based on informed judgement and reference to appropriateguidance (as published by regulatory authorities, trade federations and so on). Wherethe hazards and risks are obvious, they can be addressed directly; no complicatedprocesses or skills will be required to carry out the risk assessment;

n there may, however, be areas of an assessment for which specialist advice is needed;for example risks which require specialist knowledge of a complex process ortechnique, or those calling for specialist analytical techniques such as those used inmeasuring air quality. Whenever specialist advisers are called in, employers shouldensure that the advisers have sufficient understanding of the particular work activity;this will often require effective involvement of everyone concerned – employer,employees and specialist;

n large and hazardous sites will need the most developed and sophisticated riskassessments, particularly where there are complex or novel processes, and theregulator may well require the use of techniques such as quantified risk assessment.

I.1.6. When assessing risk to determine control measures, relating the assessment tothe actual people exposed is of limited usefulness. It would be necessary to carry out a riskassessment for each person exposed, since individuals are affected differently by riskdepending, amongst other things, on their physical make-up, abilities, age and thecircumstances giving rise to their exposure. It would be very difficult to extract and distiluseful information from all the individual assessments. Instead, the assessment can beperformed in relation to a hypothetical person, i.e. a person in some fixed relation to thehazard, for example the person most exposed to it, or a person living at some fixed point orwith some assumed pattern of life, such as a person who is in good health and worksexactly 40 hours a week with the hazard.

I.1.7. For the workplace where conditions and processes remain relatively unchanged(such as factories or offices), the risk assessment can be such that it:

n takes account of the usual conditions;

n does not need to be repeated where workstations are comparable;

n identifies the need for a revised or different assessment when circumstances change,e.g. when new machinery, methods or materials are introduced or non-routine work isundertaken.

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Employers controlling a number of similar workplaces where similar activities take placemay produce a “model” risk assessment reflecting the core hazards and risks associatedwith these activities. Model assessments may also be developed by trade associations,employers’ organizations or other bodies concerned with a particular activity. To use sucha model in a particular workplace, managers should satisfy themselves that it is appropriateto the type of work performed there and adapt it as necessary to the specific conditions oftheir own work activities, including extending it to include hazards not covered in themodel.

I.1.8. At workplaces where circumstances and conditions change, the assessmentrequires an approach which takes an account of these changes. Risks can be assessedgenerically so that the principles for prevention and protection are applied even though theworkplace changes. Thus, for example, the principles of good scaffolding or excavationsupport can be applied at each building site, account can be taken of the effect of differentweather conditions on outdoor work, and so on.

I.2. Risk assessment in practice

There are no fixed rules about how a risk assessment should be carried out; it willdepend on the nature of the work or business and the types of hazards and risks. However,whatever approach is taken, it is important that it be:

(a) Comprehensive – ensuring all aspects of the work activity are assessed, includingroutine and non-routine activities. The assessment should cover all parts of the workactivity, including those that are not under the immediate supervision of theemployer, such as employees working off site as contractors and peripatetic workers.

(b) Systematic – this can be done, for example, by looking at hazards in groups underheadings such as “machinery”, “transport”, “substances”, etc., or dividing up theworksite on a geographical basis. In other cases, an operation-by-operation approachmay be needed.

(c) Practical – looking at what actually happens in the workplace whilst the work activityis taking place. Actual practice may differ from what the work’s manual says shouldbe happening.

I.2.1. It is often helpful for employers to make a first rough assessment in order toeliminate from consideration those risks on which no further action is needed. This shouldalso show where a fuller assessment is needed, using more sophisticated techniques (suchas environmental monitoring for chemicals, noise-level measurement).

I.2.2. As indicated in paragraph I.1.4, the following five steps need to be taken:

(1) Identifying the hazards: Besides drawing on their own knowledge and experience,employers will help themselves identify aspects of their work with the potential tocause harm by looking at appropriate sources of information such as guidancepublished by the regulator or manufacturer’s instructions. The knowledge andexperience of the workforce should also be tapped.

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(2) Identifying who might be harmed and how it might happen: Besides employees, otherworkers and members of the public should be considered. These might include officestaff, night cleaners, security guards and customers. Groups of workers who might beparticularly at risk should be identified, such as young or inexperienced workers, newand expectant mothers, those who work alone, or disabled staff. Account should betaken of the fact that workers do not have to be involved in a hazardous process to beat risk from it (e.g. a worker engaged in grinding metal will be at risk of hearingdamage, as might workers engaged in other activities nearby).

(3) Evaluating the risk from the hazard: The objective of this step is to decide whetherexisting control measures are adequate or whether more should be done to reduce thelevel of risk from the hazard. The first consideration should be whether the risk canbe removed by eliminating the hazard altogether.

Where the hazard cannot be eliminated, in the majority of cases (where the hazardsare of little concern and/or the risks are well understood) all that need be done is tocompare the existing control measures against those required by established goodpractice as found in guidance produced by the regulatory authorities, industryrepresentative bodies and so on. No explicit estimation of the risk is required in thesecircumstances. (However, it can be useful to prioritize the action to be takenfollowing the assessment by making a rough estimate of the risk from a hazard,considering the likelihood of harm occurring and the likely severity of that harm.)

However, there will be more complex cases where risk should be explicitly estimatedand specialist knowledge support and advice could be required. For example, aquantitative estimation of the risk may be necessary to measure the effectiveness ofthe existing controls against quantitative risk criteria such as occupational exposurestandards for chemicals or noise, etc. In extreme cases, a complete quantitative riskassessment might be required to make a judgement as to the adequacy of controls incomplex processes such as those found in large chemical plants.

(4) Recording the assessment: A record of the results of risk assessments should be keptwith the object of making it a useful tool, i.e. providing both a management recordand a source of information for managers and workers. The record should include:

n a record of the preventive and protective measures in place to control the risks;

n the criteria, standards or guidance applied (e.g. machine-guarding standards);

n what further action, if any, needs to be taken to reduce risks;

n arrangements for review of the assessment.

Workers should be informed of the findings that relate to their workstation. Therecord of the risk assessment should also be made available to workers with specialfunctions in protecting health and safety, i.e. those designated by the employer orthose appointed as workers’ representatives.

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(5) Review and revision of the assessment: Risk assessment is not a once-and-for-allactivity; assessments need to be reviewed because:

(i) the work process might change, say, as a result of further control measures beingintroduced, or new plant, chemicals, etc., or changes to other work activities mayeffect it;

(ii) new knowledge about the hazards and risks may become available (e.g. as theresult of the local investigation of an incident or local health surveillance; newinformation may be provided by the regulatory authorities, trade organizations oracademic experts, etc.);

(iii) new technology to control risks more effectively and/or efficiently may becomeavailable.

In most cases, it is prudent to review assessments at regular intervals. The timebetween reviews is dependent on the nature of the risks and the degree of changelikely in the work activity.